Investment adviser · CRD 134996

APEX CAPITAL, LLC

Investment adviser filing (IA)

ORINDA, CA, United States · Form ADV filed Aug 14, 2015

Regulatory AUM
$1.61B
Form ADV · Item 5.F
Client accounts
13
Accounts, not individual clients
Employees
22
Reported in this filing
Advisory professionals
7
Investment advisory functions

Private funds & service providers

13 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

ZAXIS INSTITUTIONAL PARTNERS, L.P.Hedge Fund · Last reported Aug 14, 2015$903MGross asset value

Form D fundraising filings

ZAXIS INSTITUTIONAL PARTNERS, L.P.

Feeder funds

Fund administrator CITCO FUND SERVICES (CURACAO) N.V. WILLEMSTAD, CURACAO, Netherlands Antilles Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor PRICEWATERHOUSECOOPERS LLP NEW YORK, New York, United States
Custodian J.P. MORGAN CHASE BANK NEW YORK, New York, United States Related to adviser: No
Custodian STATE STREET CORPORATION BOSTON, Massachusetts, United States Related to adviser: No
Marketer BTIG, LLC SAN FRANCISCO, California, United States Related to adviser: No
Prime broker CREDIT SUISSE PRIME SECURITIES SERVICES (USA) LLC NEW YORK, New York, United States
Prime broker GOLDMAN, SACHS & CO. NEW YORK, New York, United States
Prime broker J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States
Prime broker MORGAN STANLEY & CO. LLC BROOKLYN, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

BTIG, LLC
CRD 122225 · SEC 8-65473

CREDIT SUISSE PRIME SECURITIES SERVICES (USA) LLC
CRD 151470 · SEC 8-68376

GOLDMAN, SACHS & CO.
CRD 361 · SEC 8-129

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source
Fund ID
805-7047723070
Reported beneficial owners
80
Minimum commitment
$1M
Form D file number
021-62657

Form ADV 941016 · Aug 14, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

PERMAL U.S. OPPORTUNITIES LTD.Hedge Fund · Last reported Aug 14, 2015$260MGross asset value

Form D fundraising filings

Permal U.S. Opportunities Ltd.

Fund administrator CITCO FUND SERVICES (CURACAO) N.V. WILLEMSTAD, CURACAO, Netherlands Antilles Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian BANK OF AMERICA N.A. NEW YORK, New York, United States Related to adviser: No
Custodian CITCO BANKING CORPORATION NV WILLEMSTAD, CURACAO, Netherlands Antilles Related to adviser: No
Custodian STATE STREET CORPORATION BOSTON, Massachusetts, United States Related to adviser: No
Marketer PERMAL INVESTMENT MANAGEMENT SERVICES LIMITED LONDON, United Kingdom Related to adviser: No
Prime broker CREDIT SUISSE PRIME SECURITIES SERVICES (USA) LLC NEW YORK, New York, United States
Prime broker GOLDMAN, SACHS & CO. NEW YORK, New York, United States
Prime broker J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States
Prime broker MORGAN STANLEY & CO. LLC BROOKLYN, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

PERMAL INVESTMENT MANAGEMENT SERVICES LIMITED
CRD 138297 · SEC 801-65843

CREDIT SUISSE PRIME SECURITIES SERVICES (USA) LLC
CRD 151470 · SEC 8-68376

GOLDMAN, SACHS & CO.
CRD 361 · SEC 8-129

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source
Fund ID
805-9576732949
Reported beneficial owners
68
Minimum commitment
$100K
Form D file number
021-156877

Form ADV 941016 · Aug 14, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

ZAXIS PARTNERS, L.P.Hedge Fund · Last reported Jul 3, 2013$233MGross asset value
Fund administrator CITCO FUND SERVICES (SAN FRANCISCO), INC. SAN FRANCISCO, California, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor PRICEWATERHOUSECOOPERS LLP SAN FRANCISCO, California, United States
Custodian GOLDMAN, SACHS & CO. NEW YORK, New York, United States Related to adviser: No
Custodian J.P. MORGAN CHASE BANK NEW YORK, New York, United States Related to adviser: No
Custodian J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States Related to adviser: No
Custodian MORGAN STANLEY & CO. LLC BROOKLYN, New York, United States Related to adviser: No
Custodian STATE STREET CORPORATION BOSTON, Massachusetts, United States Related to adviser: No
Prime broker GOLDMAN, SACHS & CO. NEW YORK, New York, United States
Prime broker J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States
Prime broker MORGAN STANLEY & CO. LLC BROOKLYN, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

GOLDMAN, SACHS & CO.
SEC 8-129

J.P. MORGAN CLEARING CORP.
SEC 8-43724

MORGAN STANLEY & CO. LLC
SEC 8-15869

GOLDMAN, SACHS & CO.
CRD 361 · SEC 8-129

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source
Fund ID
805-3031757220
Reported beneficial owners
64
Minimum commitment
$1M
Form D file number
021-94488

Form ADV 745206 · Jul 3, 2013 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

ZAXIS EQUITY NEUTRAL, L.P.Hedge Fund · Last reported Aug 14, 2015$229MGross asset value

Form D fundraising filings

ZAXIS EQUITY NEUTRAL LP

Feeder funds

  • ZAXIS OFFSHORE LIMITED
Fund administrator CITCO FUND SERVICES (CURACAO) N.V. WILLEMSTAD, CURACAO, Netherlands Antilles Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor PRICEWATERHOUSECOOPERS LLP NEW YORK, New York, United States
Custodian J.P. MORGAN CHASE BANK NEW YORK, New York, United States Related to adviser: No
Custodian STATE STREET CORPORATION BOSTON, Massachusetts, United States Related to adviser: No
Marketer BTIG, LLC SAN FRANCISCO, California, United States Related to adviser: No
Prime broker CREDIT SUISSE PRIME SECURITIES SERVICES (USA) LLC NEW YORK, New York, United States
Prime broker GOLDMAN, SACHS & CO. NEW YORK, New York, United States
Prime broker J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States
Prime broker MORGAN STANLEY & CO. LLC BROOKLYN, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

BTIG, LLC
CRD 122225 · SEC 8-65473

CREDIT SUISSE PRIME SECURITIES SERVICES (USA) LLC
CRD 151470 · SEC 8-68376

GOLDMAN, SACHS & CO.
CRD 361 · SEC 8-129

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source
Fund ID
805-5230510885
Reported beneficial owners
5
Minimum commitment
$1M
Form D file number
021-42223

Form ADV 941016 · Aug 14, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

P APEX SELECT IEHedge Fund · Last reported Aug 14, 2015$107MGross asset value

Form D fundraising filings

Permal Apex Select Ltd

Fund administrator CITCO FUND SERVICES (CURACAO) N.V. WILLEMSTAD, CURACAO, Netherlands Antilles Investor statements: Yes (provided to all investors) Related to adviser: No
Custodian CITCO BANKING CORPORATION NV WILLEMSTAD, CURACAO, Netherlands Antilles Related to adviser: No
Custodian STATE STREET CORPORATION BOSTON, Massachusetts, United States Related to adviser: No
Prime broker CREDIT SUISSE PRIME SECURITIES SERVICES (USA) LLC NEW YORK, New York, United States
Prime broker GOLDMAN, SACHS & CO. NEW YORK, New York, United States
Prime broker J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States
Prime broker MORGAN STANLEY & CO. LLC BROOKLYN, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

CREDIT SUISSE PRIME SECURITIES SERVICES (USA) LLC
CRD 151470 · SEC 8-68376

GOLDMAN, SACHS & CO.
CRD 361 · SEC 8-129

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source
Fund ID
805-4342914687
Reported beneficial owners
8
Minimum commitment
$100K
Form D file number
021-156820

Form ADV 941016 · Aug 14, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

ZAXIS ELS US, L.P.Hedge Fund · Last reported Aug 14, 2015$55.7MGross asset value

Form D fundraising filings

Zaxis ELS US, L.P.

Feeder funds

  • ZAXIS ELS FUND, LTD
Fund administrator CITCO FUNDS SERVICES (CURACAO) N.V. WILLEMSTAD, CURACAO, Netherlands Antilles Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor PRICEWATERHOUSECOOPERS LLP NEW YORK, New York, United States
Custodian J.P. MORGAN CHASE BANK NEW YORK, New York, United States Related to adviser: No
Custodian STATE STREET CORPORATION BOSTON, Massachusetts, United States Related to adviser: No
Prime broker CREDIT SUISSE PRIME SECURITIES SERVICES (USA) LLC NEW YORK, New York, United States
Prime broker GOLDMAN, SACHS & CO. NEW YORK, New York, United States
Prime broker J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States
Prime broker MORGAN STANLEY & CO. LLC BROOKLYN, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

CREDIT SUISSE PRIME SECURITIES SERVICES (USA) LLC
CRD 151470 · SEC 8-68376

GOLDMAN, SACHS & CO.
CRD 361 · SEC 8-129

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source
Fund ID
805-3340400501
Reported beneficial owners
3
Minimum commitment
$0
Form D file number
021-152066

Form ADV 941016 · Aug 14, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

APEX SE, L.P.Hedge Fund · Last reported Aug 14, 2015$27.3MGross asset value

Form D fundraising filings

Apex SE, L.P.

Fund administrator CITCO FUND SERVICES (CURACAO) N.V. WILLEMSTAD, CURACAO, Netherlands Antilles Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor EISNERAMPER LLP SAN FRANCISCO, California, United States
Custodian J.P. MORGAN CHASE BANK NEW YORK, New York, United States Related to adviser: No
Custodian STATE STREET CORPORATION BOSTON, Massachusetts, United States Related to adviser: No
Marketer BTIG, LLC SAN FRANCISCO, California, United States Related to adviser: No
Prime broker J.P. MORGAN CLEARING CORP. NEW YORK, New York, United States
Prime broker MORGAN STANLEY & CO. LLC BROOKLYN, New York, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

BTIG, LLC
CRD 122225 · SEC 8-65473

J.P. MORGAN CLEARING CORP.
CRD 28432 · SEC 8-43724

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source
Fund ID
805-6715185745
Reported beneficial owners
17
Minimum commitment
$100K
Form D file number
021-208085

Form ADV 941016 · Aug 14, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Aug 14, 2015. View historical filings

Reported services

Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Performance-based

Principal office

25 ORINDA WAY, SUITE 300
ORINDA, CA, 94563-4402, United States

CRD 134996

Filing source

Form ADV 941016 · Aug 14, 2015 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.